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Richard Edward kevin Davies

Mizuho Securities USA LLC

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About Richard Edward kevin Davies

Richard Davies is a financial advisor at Mizuho Securities USA LLC in NEW YORK, NY. Richard has been working in the financial industry since August 14, 1995. Richard has a wide range of experience, having worked at several prominent firms, including Cantor Fitzgerald & Co., RBC Capital Markets, LLC, and Wells Fargo Securities, LLC. Richard is licensed to provide investment advice in 52 states, including Alabama, Alaska, Arizona, Arkansas, and California. Richard holds the Series 7, Series 24, Series 63, Series 79TO, and SIE licenses.

Firm Information

Richard Davies is currently registered with Mizuho Securities USA LLC. Mizuho Securities USA LLC is a Limited Liability Company formed in April 1994 and approved in all 50 states, the District of Columbia, and Puerto Rico. The firm is registered with the SEC and has been subject to 13 Regulatory Events and 1 Civil Event.

Not reported

Assets Under Management

Not reported

Total Clients

535

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Richard Davies’s Registration & Firm History

NY

01/12/2022 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

06/09/2016 - 11/30/2021

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

02/29/2008 - 11/18/2015

RBC CAPITAL MARKETS, LLC (NEW YORK NY)

NY

05/05/2005 - 02/29/2008

RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)

CA

09/23/2002 - 05/02/2005

WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)

CA

01/20/2000 - 07/26/2002

ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)

NY

08/27/1998 - 02/23/2000

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NY

08/16/1995 - 08/10/1998

LEHMAN BROTHERS INC. (NEW YORK NY)

NJ

01/16/1995 - 07/11/1995

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

08/22/1994 - 01/13/1995

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/15/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/19/2009

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/19/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Richard Edward kevin Davies. Review regulatory record here.
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